Celebrity Resorts and Casinos, Inc. | | | investor protection violation | 2004 | $347,250 |
Research Investment Group, Inc. | | | investor protection violation | 2004 | $24,721 |
FT Interactive Data | | | investor protection violation | 2003 | $125,000 |
Brut, LLC | Nasdaq Inc. | financial services | investor protection violation | 2003 | $45,000 |
Research Capital, LLC | | | investor protection violation | 2003 | $6,337 |
EquityAlert.com, Inc. and Innotech Corporation | | | investor protection violation | 2003 | $31,555 |
Mid-Ohio Securities Corp. | | | investor protection violation | 2003 | $25,000 |
Andover Brokerage, LLC | | | investor protection violation | 2003 | $151,876 |
Spear, Leeds & Kellogg, L.P. | Goldman Sachs | financial services | investor protection violation | 2003 | $450,000 |
Ascend Capital, LLC | | | investor protection violation | 2003 | $46,258 |
Jamison, Eaton & Wood, Inc. | | | investor protection violation | 2003 | $100,000 |
Baron Capital, Inc. | | | investor protection violation | 2003 | $2,000,000 |
Harvest Financial Corporation | | | investor protection violation | 2003 | $25,000 |
Gemisys Corporation | | | investor protection violation | 2002 | $15,000 |
Millenium Capital Advisors of Pennsylvania, Inc | | | investor protection violation | 2002 | $50,000 |
Gintel Asset Management, Inc. and Gintel & Co. LLC | | | investor protection violation | 2002 | $175,000 |
U.S. Bancorp Piper Jaffray Inc. | Piper Sandler | financial services | investor protection violation | 2002 | $100,000 |
Back Bay Advisors, L.P. | | | investor protection violation | 2002 | $150,000 |
Renberg Capital Management, Inc. | | | investor protection violation | 2002 | $40,000 |
Dean Witter Reynolds Inc. | Morgan Stanley | financial services | investor protection violation | 2002 | $500,000 |
Vanderbilt Capital Advisors LLC | | | investor protection violation | 2002 | $125,000 |
RBC Dain Rauscher Incorporated | Royal Bank of Canada | financial services | investor protection violation | 2002 | $500,000 |
Knight Securities, L.P. | Virtu Financial | financial services | investor protection violation | 2002 | $75,000 |
Portfolio Advisory Services, LLC | | | investor protection violation | 2002 | $50,000 |
Performance Analytics, Inc. | | | investor protection violation | 2002 | $75,000 |
Josephthal & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2002 | $75,000 |
Lone Star Transfer, Inc. | | | investor protection violation | 2002 | $10,000 |
ND Money Management, Inc. | | | investor protection violation | 2002 | $10,000 |
RansonCapital Corporation | | | investor protection violation | 2002 | $10,000 |
Roundhill Securities, Inc. | | | investor protection violation | 2002 | $100,000 |
Stan D. Kiefer & Associates | | | investor protection violation | 2002 | $10,000 |
Delta Equity Services Corporation | | | investor protection violation | 2002 | $45,000 |
Norwest Investment Services, Inc. | Wells Fargo | financial services | investor protection violation | 2002 | $153,245 |
Pryor, McClendon, Counts & Co., Inc. | | | investor protection violation | 2002 | $40,000 |
BNB Capital, Inc. | | | investor protection violation | 2002 | $5,000 |
Merrimac Advisors Company | | | investor protection violation | 2002 | $50,000 |
Millennium Group of New York, LLC | | | investor protection violation | 2001 | $7,602 |
Tiffany Capital Advisors, Inc. | | | investor protection violation | 2001 | $40,000 |
Duff & Phelps Investment Management Co., Inc | | | investor protection violation | 2001 | $854,161 |
Western Asset Management Co. | Franklin Resources | financial services | investor protection violation | 2001 | $50,000 |
Legg Mason Fund Adviser, Inc. | Franklin Resources | financial services | investor protection violation | 2001 | $50,000 |
W.J. Nolan & Co. | | | investor protection violation | 2001 | $192,028 |
ABN AMRO Incorporated | ABN AMRO | financial services | investor protection violation | 2001 | $200,000 |
Oechsle International Advisors L.L.C. | | | investor protection violation | 2001 | $200,000 |
Hawthorne Associates, Inc. | | | investor protection violation | 2001 | $25,000 |
Sage Advisory Services LLC | | | investor protection violation | 2001 | $288,328 |
JPR Capital Corp. | | | investor protection violation | 2001 | $55,000 |
Legg Mason Wood Walker, Incorporated | Franklin Resources | financial services | investor protection violation | 2001 | $50,000 |
United Stock Transfer Inc. | | | investor protection violation | 2001 | $10,000 |
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc. | | | investor protection violation | 2001 | $400,000 |
Joel R. Mogy Investment Counsel, Inc.? | | | investor protection violation | 2001 | $12,500 |
Business & Financial Advisors, Inc. | | | investor protection violation | 2001 | $128,817 |
Prudential Securities Incorporated | Wells Fargo | financial services | investor protection violation | 2001 | $800,000 |
Marion Bass Securities Corp. | | | investor protection violation | 2000 | $150,000 |
Focus Tech Investments, Inc. | | | investor protection violation | 2000 | $10,000 |
Adar International | | | investor protection violation | 2000 | $10,000 |
Longman & Associates, Inc. | | | investor protection violation | 2000 | $10,000 |
Kading Companies, S.A. and Joning Corp. | | | investor protection violation | 2000 | $10,000 |
National Stock Transfer Inc. | | | investor protection violation | 2000 | $5,000 |
First Union Securities, Inc. | Wells Fargo | financial services | investor protection violation | 2000 | $408,931 |
CGI Capital, Inc. | | | investor protection violation | 2000 | $25,000 |
D.E. Frey and Company, Inc. | | | investor protection violation | 2000 | $100,000 |
Prospera Financial Services, Inc. | | | investor protection violation | 2000 | $40,000 |
Signal Securities Inc. | | | investor protection violation | 2000 | $50,000 |
First Colonial Securities Group, Inc. | | | investor protection violation | 2000 | $25,000 |
F.W. Thompson Company Ltd. | | | investor protection violation | 2000 | $100,000 |
Dean Witter Reynolds Inc. | Morgan Stanley | financial services | investor protection violation | 2000 | $476,702 |
Alpha Tech Stock Transfer Trust | | | investor protection violation | 2000 | $10,000 |
Dawson-Samberg Capital Management, Inc. | | | investor protection violation | 2000 | $100,000 |
Fahnestock & Co., Inc. | Oppenheimer Holdings | financial services | investor protection violation | 2000 | $20,000 |
Janney Montgomery Scott LLC | Penn Mutual | financial services | investor protection violation | 2000 | $100,000 |
Owen-Joseph Asset Management Corp.? | | | investor protection violation | 2000 | $68,000 |
Founders Asset Management LLC | | | investor protection violation | 2000 | $50,000 |
Dreyfus Corporation | Bank of New York Mellon | financial services | investor protection violation | 2000 | $950,000 |
Gold Asset Management, Inc. | | | investor protection violation | 2000 | $20,000 |
WWW Advisors, Inc. | | | investor protection violation | 2000 | $5,000 |
Asset Timing Corp. | | | investor protection violation | 2000 | $5,000 |
Investment Street Company and Dynamic Trading of Miami, Inc. | | | investor protection violation | 2000 | $25,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | financial services | investor protection violation | 2019 | $8,014,000 |
Wells Fargo Securities | Wells Fargo | financial services | investor protection violation | 2019 | $812,500 |
Wedbush Securities Inc. | Wedbush Securities | financial services | investor protection violation | 2019 | $250,000 |
Lumber Liquidators Holdings Inc. | LL Flooring Holdings | housewares and home furnishings | investor protection violation | 2019 | $6,000,000 |
BB&T Securities | Truist Financial | financial services | investor protection violation | 2019 | $5,709,753 |
Woodbridge Group of Companies LLC | | | investor protection violation | 2019 | $892,000 |
JPMorgan Chase Bank N.A. | JPMorgan Chase | financial services | investor protection violation | 2018 | $135,100,000 |
American Portfolios Advisers Inc. | | | investor protection violation | 2018 | $1,145,353 |
PPS Advisors Inc. | | | investor protection violation | 2018 | $706,746 |
Wealthfront Advisers LLC | | | investor protection violation | 2018 | $250,000 |
Hedgeable Inc. | | | investor protection violation | 2018 | $80,000 |
Bank of New York Mellon | Bank of New York Mellon | financial services | investor protection violation | 2018 | $54,000,000 |
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC | | | investor protection violation | 2018 | $51,400,000 |
Citadel Securities LLC | | | investor protection violation | 2018 | $3,500,000 |
Natixis Securities Americas LLC | | | investor protection violation | 2018 | $1,250,000 |
MUFG Securities Americas Inc. | U.S. Bancorp | financial services | investor protection violation | 2018 | $1,400,000 |
Talimco, LLC | | | investor protection violation | 2019 | $399,000 |
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | financial services | investor protection violation | 2019 | $17,363,847 |
RBC Capital Markets, LLC | Royal Bank of Canada | financial services | investor protection violation | 2019 | $11,715,395 |
Deutsche Bank Securities Inc. | Deutsche Bank | financial services | investor protection violation | 2019 | $2,971,462 |
Stephens Inc. | | | investor protection violation | 2019 | $5,489,119 |
Select Money Management, Inc. | | | investor protection violation | 2019 | $61,558 |
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors) | | | investor protection violation | 2019 | $43,034 |